David M. Sutcliffe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Miller Sutcliffe, who also goes by David M Sutcliffe, David Mills Sutcliffe, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2005 - February 10, 2016
ARAGORN LTD.
December 1, 2005 - December 31, 2009
PURSHE KAPLAN STERLING INVESTMENTS
September 28, 2004 - December 1, 2005
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 31, 2003 - December 1, 2005
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 19, 1993 - May 10, 1993
NORTH AMERICAN MANAGEMENT, INC.
June 8, 1990 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
June 6, 1986 - June 14, 1990
LCP CAPITAL CORP.
December 24, 1984 - June 16, 1986
CARDELL & ASSOCIATES, INCORPORATED
February 24, 1983 - January 7, 1985
LEHMAN BROTHERS DISTRIBUTORS INC.
November 26, 1981 - March 7, 1983
OSAIC FS, INC.
November 1, 1977 - August 13, 1981
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 1, 1977 - August 13, 1981
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/21/1977
Registered Representative ExaminationCurrent Firm
ARAGORN LTD.
CRD#: 129380 / SEC#: 801-66262
Contact information
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 14,887,763 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
